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News & Insights: SEC

SEC
20 Jul, 2026
Jeremy McCamic

SEC's New E-Delivery Rule: What RIAs Need to Know About Electronic Disclosure Delivery

On July 16, 2026, the SEC proposed Regulation E-Delivery (“Reg E-Delivery”), a new rule that would establish a comprehensive framework permitting, but not requiring, electronic delivery (“e-delivery”) as the default method for providing required disclosures and reports under the federal securities laws.

Exams & Exam Priorities
17 Oct, 2023

What the SEC Plans for Next Year: 2024 SEC Examination Priorities Are Already Published

On October 16, 2023, the SEC’s Division of Examinations (“EXAMS”) published its 2024 Examination Priorities. These annual priorities highlight certain practices, products, and services that present potentially heightened risks to investors or the integrity of US capital markets.

CyberSecurity
27 Sep, 2023

SEC Wells Notice Underscores Shift in Responsibility for Cyber Attacks

The SEC recently issued a Wells Notice to SolarWinds executives, representing a seismic shift in accountability from conventional targets, to also include those responsible for overseeing cyber and data security programs, as evidenced by its explicit reference to the SolarWinds chief information security officer.

SEC Adopts Amendments to “Name Rule”

The SEC adopted enhancements to the Investment Company Act “Names Rule,” aiming to address names for a registered investment company or business development company (“BDC”) that could be misleading or deceptive.

Flash Reports
08 Sep, 2023

SEC Risk Alert: Scope of Investment Adviser Examinations

On September 6, 2023, the SEC’s Division of Exams (the Division or EXAMS) published a risk alert on how the Division assesses risk, decides on the scope of an examination and the methodology for document requests during an examination.

SEC Charges Five Advisory Firms for Custody Rule Violations

On September 5, 2023, the SEC charged five investment firms who failed to comply with requirements regarding safekeeping of client assets, and/or to timely update disclosures relating to audits of financial statements for private fund’s they advise.

Flash Reports
23 Aug, 2023

SEC Charges Adviser for Misrepresenting Hypothetical Performance

On August 21, 2023, the SEC charged Titan Global Capital Management USA LLC (“Titan”), a FinTech investment adviser, with violations of the new Marketing Rule, among other violations.

Flash Reports
09 Aug, 2023

SEC Fines 11 More Wall Street Firms For Off-Channel Communication Failures

Ten broker-dealers and one dual registrant were charged for off-channel communication failures. The firms will pay $289 mil penalties and were served a cease-and-desist order.

Flash Reports
28 Jul, 2023

SEC Proposes New Requirements to Mitigate Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

The SEC states a “covered technology” includes a broker-dealer or investment advisers’ “use of analytical, technological, or computational functions algorithms, models, correlation matrices, or similar methods or processes that optimize for, predict, guide, forecast, or direct investment-related behaviors or outcomes of an investor”.

CyberSecurity
27 Jul, 2023

SEC Adopts Cyber Risk Management Rule for Public Companies

On July 26th, 2023, the SEC adopted rules requiring public companies “to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy, and governance”.

Flash Reports
30 Jun, 2023

The SEC’s Proposed and Final Rules and Key Dates

the SEC’s proposed compliance- and cyber-related rules, including associated dates and links to the full rules.